NASD. AWARD NATIONAL ASSOCIATION OF SF.CIJRITIES DEALERS In the Matter of the Arbitration Between Name oD^Iaimiiint Edwin C. Brotmarkle Trust N^mc Q£l< .e!y2find£0ts Southwest Securities, Tnc Wilshire Discount Securities 94-02525 CA3EJUAIMAEY In a claim filed with the National Association of Securities Dealers, Inc. on July 6, 1994. Claimant Edwin C. Brotmarkle Trust ("Clwmant"), through its trustee Edwin C. Brotmarkle, who appeared Pro S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nmne-pf£liupi^t Henry Lam 94-02510 ^!aute t2f.B.e5p9n4snis Camclot Investment Corp. Vincent Gricco CASfi^MM^RY In a claim filed with tlic National Association of Securities Dealers, Inc. on November 3. \094, Claimant Henr>- Lam, who appeared Pro Se, alleged that Respondents effected unauthorized trades in his account. Claimant alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Niimt: iif'Claimant Kuth .Sturtevant 94-02518 Michael Feinglass Michael McElduff. Jr. CASE SUMMARY Inaclaimfiledwidi the National Association of Securities Dealers, Inc. on June 29, 1994. Claimant Rudi .Sturtevant ("Claimant"), who appeared Pro Se, alleged that Respondent Michael McElduff, Jr. ("McElduff")* was a representative of Jonathan Alan

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Maucr of the Arbitration Between Name of Claimant Donald Kolmodin Name of Respondent Thomas Chenoweth 94-02505 Claimant Donald Kobnodin ("Claimant") was represented by Anthony J. Horn, Esq., Philadelphia, PA. Respondent Thomas Chenoweth ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed June 29, 1994. Claimant's Uniform Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimamfsl Sylvia W. Robbins Name of Resoondcntfs^ Tucker Anthony Incorporated Scott Dittrich 94-02495 REPRESENTATION The Claimant appeared pro se. For Respondents TUcker Anthony, Inc. and Scott Dittrich: Gerri L. Seigel, Esq. in-house counsel for Tucker Anthony, Inc., New York, NY. CASE INFORMATION Sutement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS Name of Claimant Allan L. Wtxxlhouse 94-02489 J.W. BuUard & Co. Cantella & Co. James P. Minsky James W. Bullard REPRESENTATION For Claimant Allan L. Woodhouse ("Claimant") appeared Colleen M. Blanford, Esq. of the law firm of Kohnen & Patton located in Cincinnati, Ohio. For Respondent Cantella & Co., Inc. ("Cantella") appeared Peter M. Coppinger. Esq. of the law firm of Gadsby

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECL'RITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Dan Jin 94-02488 Name of Respondents Chatfield Dean & Co., Inc. QiXu In a claim fded with the National Association of Securities Dealers, Inc. on June 28, 1994. Claimam Dan Jin, who appeared Pro Se, alleged the Respondents Chatfield Dean & Co., Inc. ("Chatfield") and Qi Xu ("Xu"), sold her unsuitable securities. Claimant furth

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Scott Stewart 94-02487 Name of Respondents Stratton Oakmont, Inc. H. Scott Gelfand CASE SL-MMARY In a case filed with the National Association of Securities Dealers, Inc. on June 28, 1996, Claimant Scott Stewart ("Claimant"), through his representative and counsel David J. Tseng of the law firm of Edson, Tseng & Associates,

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05721 NBC Capital Markets Group, a Division of Fenesco Financial Enterprises, Inc. Name of the Respondent Hearing Site: Memphis, TN Gregory Jayson REPRESENTATION OF PARTIES For NBC Capital Markets Group, a Division of Fenesco Financial Enterprises, Inc., hereinafter referred to as "Claimant": Scott T. Beall, Esq., Tate, Lazarini & Beall, PLC,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Earl Callison 94-024S6 Fidelity Investments CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on June 28, 1994. Claimant Eart Callison, who appeared Pro Se, alleged that Respondent Fidelity Investments failed to execute a transaction. Claimant fiirther alleged that on November 5, 1993 he called Respondent to in